Form 4: Capital One Officer Sells Shares Under 10b5-1 Plan

Sentiment:

Insider Transaction Report 17 November 2025 4:54 PM

📋All filings for Capital One Financial CORP

A Capital One Financial Corp. Chief Enterprise Services Officer sold 17,840 shares of common stock on November 13, 2025, under a pre-arranged trading plan.

Summary

Frank G. LaPrade, III, the Chief Enterprise Services Officer of Capital One Financial Corp. (COF), reported transactions involving the sale of common stock.
On November 13, 2025, Mr. LaPrade disposed of 4,276 shares of common stock at a weighted average price of $220.84 per share. The sales occurred in multiple transactions ranging from $220.61 to $221.57.
On the same date, Mr. LaPrade also sold 13,564 shares of common stock at a weighted average price of $222.41 per share. These sales were executed in multiple transactions ranging from $221.95 to $222.94.
These transactions were executed pursuant to a Rule 10b5-1 trading plan, which the reporting person entered into on August 14, 2025.
Following these reported transactions, Mr. LaPrade directly beneficially owns 110,194 shares of common stock (61,879 + 48,315 shares).
Additionally, Mr. LaPrade indirectly beneficially owns 818 equivalent shares in the Company's 401(k) Plan.

Sentiment

Score: 5

Explanation: The sale of shares was executed under a pre-arranged 10b5-1 trading plan, which indicates a planned personal financial transaction rather than a reaction to new company-specific information. This type of insider transaction is generally considered neutral in terms of market sentiment.

Stakeholder Impact

Shareholders may note the insider sale, but the execution under a Rule 10b5-1 plan suggests it is for personal financial planning and diversification rather than a signal about the company's immediate prospects.

Key Dates

Date	Description
08/14/2025	Date the Rule 10b5-1 trading plan was entered into by the reporting person.
11/13/2025	Date of the reported common stock transactions (sales).
11/17/2025	Date the Form 4 was signed by the reporting person's attorney-in-fact.

Recommendation

hold

The sale of shares by a Chief Enterprise Services Officer was executed under a pre-arranged 10b5-1 trading plan, indicating a planned personal financial transaction rather than a reaction to new company-specific information. This type of insider transaction is generally considered neutral and does not typically warrant a change in investment recommendation for the stock.

Keywords

Capital One, COF, Insider Trading, Form 4, Stock Sale, Executive Compensation, 10b5-1 Plan, Frank G. LaPrade III

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